Broker-Dealers Articles

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U.S. SEC's Piwowar Proposes Alternative To Broker Fiduciary Rules

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Requiring brokers and advisors to provide retail investors with more "concise" disclosures could be a better alternative to adopting uniform fiduciary duty rules for both professions, a top U.S...

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Raymond James Gives Back

by FA Staff

Raymond James advisors and associates volunteered close to 4,000 hours for 90 organizations.

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SEC To Get Cost-Benefit Analysis Of B-D Fiduciary Duty Early Next Year

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SEC commissioners should receive an analysis early next year of the potential costs and benefits of imposing a fiduciary duty on broker-dealers, an agency official told Financial Advisor magazine...

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Finra Exec: Agency Is Studying Series 7 Scores, Correlations

by FA Staff

Finra executive vice president of regulatory operations Susan Axelrod says the agency is considering whether to post brokers' Series 7 scores on BrokerCheck, its public Web site.

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Keeping It In-House

by Jeff Schlegel

Halbert Hargrove includes thirtysomething staffers in its leadership transition plans.

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Racing Ahead

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Big broker-dealers continue to improve their platforms for advisors with better navigation, client information and mobile apps.

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Edward Jones Targets Wirehouse Advisors

by FA Staff

The brokerage firm has expanded its hiring pool by recruiting wirehouse advisors.

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Finra Floats Controversial Cards Rule Proposal

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Finra on Tuesday proposed a rule to implement its controversial Comprehensive Automated Risk Data System plan, known as Cards.

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State Sanctions Against RIAs Up Slightly, Brokers See 39% Hike

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State sanctions against registered investment advisors were up slightly in 2013, while penalties against brokers surged 39 percent, the Nasaa said.

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Wall Street Cyclists Reassess Need For Speed After Death

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The recent death of a pedestrian hit by a New York City cyclist has renewed public debate about whether the sport is appropriate in a crowded city.

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